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The Filing Cabinet

"The Filing Cabinet," which covers compliance with the Dodd-Frank Act and the Sarbanes-Oxley Act, as well as other regulatory action from the Securities and Exchange Commission, executive compensation, and shareholder activism, is written by CW staff writer Joe Mont. Mont welcomes questions, comments, and statements from readers on SEC filing matters and will address them here when appropriate. Readers can contact him at joe.mont@complianceweek.com.

Oct. 10—The ongoing turf battle between the Commodity Futures Trading Commission and Federal Energy Regulatory Commission took yet another turn this week when a trio of U.S. Senators sharply criticized the former for usurping an enforcement action from the latter and agreeing to a monetary settlement that was a fraction of the initial $30 million fine. “The CFTC chose to engage in a jurisdictional battle to the detriment of the American people,” Senators Dianne Feinstein (D-Calif.), Maria Cantwell (D-Wash.), and Carl Levin (D-Mich.) wrote. More inside.